0001209191-19-045138.txt : 20190808 0001209191-19-045138.hdr.sgml : 20190808 20190808165825 ACCESSION NUMBER: 0001209191-19-045138 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190806 FILED AS OF DATE: 20190808 DATE AS OF CHANGE: 20190808 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haltmayer Neven CENTRAL INDEX KEY: 0001380567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 191010369 MAIL ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4084906242 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: HARMONIC LIGHTWAVES INC DATE OF NAME CHANGE: 19950404 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-08-06 0 0000851310 HARMONIC INC HLIT 0001380567 Haltmayer Neven 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 SVP, Video R&D Common Stock 2019-08-06 4 M 0 6375 0.00 A 159813 D Common Stock 2019-08-06 4 F 0 2204 7.26 D 157609 D Common Stock 2019-08-06 4 M 0 30000 5.78 A 187609 D Common Stock 2019-08-06 4 S 0 30000 7.2762 D 157609 D Common Stock 2019-08-07 4 M 0 30000 5.78 A 187609 D Common Stock 2019-08-07 4 S 0 30000 7.204 D 157609 D Common Stock 2019-08-08 4 M 0 30000 0.00 A 187609 D Common Stock 2019-08-08 4 S 0 30000 7.23 D 157609 D Performance Restricted Stock Units 0.00 2019-08-06 4 M 0 6375 0.00 D 2017-03-20 2020-03-15 Common Stock 6375 19125 D Stock Option/Right to Buy 5.78 2019-08-06 4 M 0 30000 5.78 D 2014-02-15 2020-03-15 Common Stock 30000 90000 D Stock Option/Right to Buy 5.78 2019-08-07 4 M 0 30000 5.78 D 2014-02-15 2020-03-15 Common Stock 30000 60000 D Stock Option/Right to Buy 5.78 2019-08-08 4 M 0 30000 5.78 D 2014-02-15 2020-03-15 Common Stock 30000 30000 D These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 8/6/2019. These performance-based restricted stock units were initially granted to the Reporting Person on 3/20/2017, and were identified on a Form 4 filed by the Reporting Person on 3/22/2017. Shares of Harmonic Inc. common stock withheld by Harmonic Inc. to satisfy tax withholding obligation upon vesting of restricted stock units. These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 6, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013. These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 7, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013. These shares of common stock were acquired upon the exercise of a stock option/right to buy on August 8, 2019. The option was initially granted to the Reporting Person on 3/15/2013, and was identified on a Form 4 filed by the Reporting Person on 3/19/2013. /s/ Laura Donovan By Attorney-in-Fact Laura Donovan 2019-08-08